Broker-Dealers

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Morgan Stanley's New President Cements Role As Enforcer-In-Chief

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Colm Kelleher is a stickler for discipline, and his role as enforcer-in-chief was solidified last month.

Pershing Names New CEO

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The firm announced that Lisa Dolly, currently the firm’s COO, will take over as chief executive.

Morgan Stanley In $63 Million Deal With FDIC Over Mortgage Bonds

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Morgan Stanley has agreed to pay $62.95 million to resolve claims over the sale of toxic mortgage-backed securities.

UBS Wealth Management Surprise Outflows Take Shine Off Profit Jump

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Fund outflows and weakening margins at its wealth management business overshadowed its best annual results since 2010.

Icahn Says Selling Advisor Group, Other Moves Inadequate, Seeks Director Slate

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Selling off AIG Advisor Group and other moves planned by the CEO are not enough, Icahn says.

State Regulators Approve Model To Curb Elder Abuse

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NASAA's model act would require advisors and broker-dealers to report suspected elder financial abuse.

RCS Capital Files Bankruptcy Citing $1.39 Billion In Debts

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RCS Capital Corp. filed for bankruptcy protection in Delaware Sunday.

5 Questions For Advisor Recruiting

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They are a great starting point for decision-making.

RCS Capital To File Chapter 11 Sunday Night

by FA Staff

RCS Capital's pre-arranged bankruptcy, wipes out the B-D's obligations and ends its relationship with Nick Scorsch.

Hiring New Advisors Is Vital, But Not Always Easy

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Some advisor firms are trying to crack the code of training new advisors in a time—and cost—efficient way.

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